MC
Michael R. Curtis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
PUNTA GORDA, FL 33950
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CRD#: 1035990
MC
Professional summary
Michael Ray Curtis, AIF®, who also goes by Mike Curtis, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Punta Gorda, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Muscatine, Iowa.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Michael has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Curtis
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) CRUMP, 2910 W BELTLINE WHY STE 301, MADISON, WI, 6/1980 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 1/MO - 0/TRADING. 2) BROKERS CLEARING HOUSE LTD, 4546 CORPORATE DR STE 155, DES MOINES, IA, 1/2011 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/YR - 0/TRADING 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 50/WK - 0/TRADING. 10/02/06. 4) CURTIS FINANCIAL SERVICES LLC, 101 W MISSISSIPPI SR STE 101, MUSCATINE, IA, 05/2019. MANAGING MEMBER, FINANCIAL PROFESSIONAL UTILIZING DBA NAME. INV REL-3/WK-0/TRADING. 5) OAK CREEK PROPERTIES, LLC, 2747 OAK DRIVE, MUSCATINE, IA, 06/2021, spouse is sole member, Real Estate, NIR,- 5 HR/MO- 0/TRADING HR. 6) CURTIS FINANCIAL SERVICES, 2213 2nd Ave, Muscatine IA 52761, 01/01/2025, OWNER - DBA FOR HOLDING COMPANY, NIR, 10 HR/MO 10 HR TRADING 7) NATIONWIDE INSURANCE, 2213 2nd Ave, Muscatine IA 52761, 08/2010, INSURANCE AGENT, INV REL, 1 HR/MO 1 HR TRADING 8) BRIGHTHOUSE FINANCIAL COMPANY, 2213 2nd Ave, Muscatine IA 52761, 09/2021, INSURANCE AGENT, INV REL, 0 HR/MO 0 HR TRADING 9) ALPHA INSURANCE BROKERAGE, LLC, 1501 42nd Street, Suite 380, West Des Moines IA 50266, United States, 03/01/2023, Agent, Insurance/Benefits/Human Resources, NIR, 2 HR/MO - 0 HR/MO TRADING 10) SIEBEN FINANCIAL LLC, 2213 2nd Ave, Muscatine IA 52761, 01/2025, W2 EMPLOYEE, DBA NAME, NIR, 10 HR/MO - 10 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Ray Curtis's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
October 3, 2006 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 3728 Spoonbill Ct., Punta Gorda, FL 33950Office #3: 2213 2nd Ave, Muscatine, IA 52761RIA
CRD#: 134139
PUNTA GORDA, FL
Current
October 2, 2006 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2213 2nd Ave, Muscatine, IA 52761BD
CRD#: 39543
MUSCATINE, IA
Past
October 14, 2003 - October 4, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
MUSCANTINE, IA
Past
July 18, 1988 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
March 30, 1982 - October 4, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MUSCANTINE, IA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(10/2/2006)
RR
Florida(10/2/2006)
IAR
Florida(8/29/2013)
RR
Illinois(10/2/2006)
RR
Iowa(10/2/2006)
IAR
Iowa(10/3/2006)
RR
Texas(10/2/2006)
IAR
Texas(10/3/2006)
RR
Virginia(10/2/2006)
RR
Washington(10/2/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Punta Gorda, FL 33950TRUST BUT VERIFY
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